Job Description
AVP, Trade Surveillance
Primary Responsibilities:
- Responsible for conducting firm’s non-market abuse trade compliance surveillance and monitoring for its markets trading divisions (Equities and Fixed Income).
- Help drive innovation and continuous improvement within the Compliance monitoring program through management of strategic projects as well as the development and implementation of monitoring frameworks and best practices.
- Develop key performance metrics and proactively identify opportunities to optimize the controls and data that support trade surveillance, facilitating continuous improvement.
- Manage escalations to Supervisors and, when necessary, traders and sales teams, regarding supervisory issues, exceptions and obtaining signoffs.
- Keep abreast of industry standards and regulatory trends in surveillance, leveraging market and regulatory experience to drive new non-market abuse monitoring requirements and identify areas where controls can be improved.
- Assist in the coordination of regulatory examination requests and responses to regulatory inquiries.
- Act as a contact point person for product owners and internal Technology teams.
- Perform recurring and ad-hoc metrics reporting and analysis using Word / Excel / PowerPoint / Other.
- Perform issue and risk management analyses.
Skills:
- Compliance trade surveillance professional who has excellent technical knowledge and understanding of the mechanics of surveillance.
- Strong written and verbal communication skills.
- 2-3 years professional experience in a trade surveillance or at Financial Markets Regulator.
- Experience in monitoring the effectiveness of trade surveillance systems.
- Knowledge of relevant local regulatory and market conduct rules and regulations (i.e., Regulation SHO, Best Execution, SEC Rule 15c3-5, TRACE FINRA 6730 series, etc.,)
- Experience with calibration of trade surveillance applications.
- Experience in managing the surveillance change process, such as ensuring business and functional requirements are met, according to the governance framework.
- Strong quantitative and qualitative analytical skills and a creative and flexible approach to problem solving.
- Subject matter expertise in trade surveillance scenarios
- Excellent time management skills and ability to execute tasks within tight deadlines.
- Keen attention to detail.
- Ability to operate in a dynamic, fast paced work environment.
- A strong sense of ownership and accountability for work product.
- Fluency with MS Office tools, particularly Excel and PowerPoint.
Primary Location Full Time Salary Range of $110,000 - $125,000.
The salary offered will take into consideration an individual’s experience level and qualifications. In addition to salary, Jefferies offers, for eligible employees, an annual discretionary incentive and retention bonus, competitive employee benefits, including: medical, dental & vision coverage; 401(k); life, accident, and disability insurance; and wellness programs. Jefferies also offers paid time off packages that include planned time off (vacation), unplanned time off (sick leave), and paid holidays and paid parental leave.
About Us
Jefferies Financial Group Inc. (‘‘Jefferies,’’ ‘‘we,’’ ‘‘us’’ or ‘‘our’’) is a U.S.-headquartered global full service, integrated investment banking and securities firm. Our largest subsidiary, Jefferies LLC, a U.S. broker-dealer, was founded in the U.S. in 1962 and our first international operating subsidiary, Jefferies International Limited, a U.K. broker-dealer, was established in the U.K. in 1986. Our strategy focuses on continuing to build out our investment banking effort, enhancing our capital markets businesses and further developing our Leucadia Asset Management alternative asset management platform. We offer deep sector expertise across a full range of products and services in investment banking, equities, fixed income, asset and wealth management in the Americas, Europe and the Middle East and Asia.
At Jefferies, we believe that diversity fosters creativity, innovation and thought leadership through the infusion of new ideas and perspectives. We have made a commitment to building a culture that provides opportunities for all employees regardless of our differences and supports a workforce that is reflective of the communities where we work and live. As a result, we are able to pool our collective insights and intelligence to provide fresh and innovative thinking for our clients.
Jefferies is committed to creating and sustaining a diverse workforce and encourages applicants from all backgrounds to apply. This includes applicants from historically underrepresented groups, including women, racial and ethnic minorities, members of the LGBTQ+ community, military veterans, and individuals with disabilities or who are neurodiverse.
Jefferies is an equal employment opportunity employer, and takes affirmative action to ensure that all qualified applicants will receive consideration for employment without regard to race, creed, color, national origin, ancestry, religion, gender, pregnancy, age, physical or mental disability, marital status, sexual orientation, gender identity or expression, veteran or military status, genetic information, reproductive health decisions, or any other factor protected by applicable law. We are committed to hiring the most qualified applicants and complying with all federal, state, and local equal employment opportunity laws. As part of this commitment, Jefferies will extend reasonable accommodations to individuals with disabilities, as required by applicable law.
All e mployees must follow Jefferies’ COVID-19 protocol policy , which is subject to chan ge.
